Michael B. Malone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Brent Malone, who also goes by Brent Malone, Michael Malone, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2017 - August 16, 2018
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
June 12, 2017 - August 16, 2018
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 23, 2009 - August 17, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 17, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 29, 2005 - October 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 29, 2005 - October 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2004 - February 28, 2005
MORGAN STANLEY DW INC.
May 7, 2004 - February 28, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
